DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Former SEC-registered adviser

C•••••• C•••••• M••••••••• G••••• I•••

Former SEC-registered adviserSan Diego, CaliforniaCRD 114880SEC 801-63752IAPD
Latest filing May 22, 2014
First filing on the tape Dec 5, 2011 · 22 filings
RAUM
$7.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$7.9M as of Mar 6, 2014
Mar 27, 2012$80.6M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 6, 2014
Mar 27, 20120 then
Employees (5.A)4 as of Mar 6, 2014
Mar 26, 201318 then
Private funds5 as of Mar 26, 2013
Mar 27, 20126 then
RAUM -92% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of May 22, 2014; every figure names its basis
RAUM per advisor
$3.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$981,821derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-92%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is an insurance broker or agent (6.A.6)
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
8reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
7 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
C••••• F••• O• F••• L••Hedge Fund$6.4M1Nov 2, 2012
C•••••• A••••••••• I••••••••• L• • C•••• Z•Other Private Fund$6.4M1Mar 27, 2012
E•••• O••••••••• F•••• L•Other Private Fund$4.1M17Mar 27, 2012
E•••••••• R••• E••••• I••••••••• L•Real Estate Fund$3.1M51Mar 27, 2012
C•••••• A••••••••• I••••••••• L• • C•••• I•Hedge Fund$1.4M4Mar 27, 2012
E•••••••• I••••••••• L•no longer reportedReal Estate Fund$1.2M22Mar 27, 2012
C•••••• K••• F•••• L•no longer reportedHedge Fund$238,2671Mar 27, 2012
Owners and control persons
Schedule A and B, latest filing
  • M••••• D••••• C••••••• · Managing Directorcontrol
    since 04/2001 · owns less than 5%
  • S•••••••• S•••• H••••• · Chief Compliance Officercontrol
    since 02/2014 · owns less than 5%
  • L•••••••• E••••••• L••• · Shareholder/Managing Directorcontrol
    since 01/2006 · owns 25% to 50% of C•••••• C•••••• G••••• I•••
  • M••••• D••••• C••••••• · Shareholder/Managing Directorcontrol
    since 01/2006 · owns 25% to 50% of C•••••• C•••••• G••••• I•••
  • N•••• J••••••• T•••• · Shareholder/Managing Directorcontrol
    since 11/2010 · owns 25% to 50% of C•••••• C•••••• G••••• I•••
Entity owners
  • C•••••• C•••••• G••••• I••• · Holding Company
    direct · owns 75% or more
Related persons
Schedule D 7.A
  • C•••••• A••••••••• A•••••••• L••
    pooled vehicle sponsory
  • C•••••• C•••••• C••••••••• I•••
    pooled vehicle sponsory
  • T•••• O•• C••••••• L••
    pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 7 to 8
    Feb 27, 2014 to Mar 6, 2014
  • Accounts · 485 to 7
    Dec 20, 2013 to Feb 27, 2014
  • Advisory employees · 7 to 1
    Dec 20, 2013 to Feb 27, 2014
  • Advisory activities · 5 to 2
    Dec 20, 2013 to Feb 27, 2014
  • BD registered reps · 7 to 1
    Dec 20, 2013 to Feb 27, 2014
  • Commission compensation · true to false
    Dec 20, 2013 to Feb 27, 2014
  • Employees · 17 to 4
    Dec 20, 2013 to Feb 27, 2014
  • Insurance-licensed employees · 0 to 1
    Dec 20, 2013 to Feb 27, 2014
  • Financial planning clients · 11-25 to 1-10
    Dec 20, 2013 to Feb 27, 2014
  • Private funds · 5 to unset
    Dec 20, 2013 to Feb 27, 2014
  • Discretionary RAUM · $118M to $7.9M
    Dec 20, 2013 to Feb 27, 2014
  • RAUM · $118M to $7.9M
    Dec 20, 2013 to Feb 27, 2014
  • Related broker-dealer · true to false
    Dec 20, 2013 to Feb 27, 2014
  • Accounts · 493 to 485
    Apr 18, 2013 to Sep 10, 2013
  • Employees · 18 to 17
    Apr 18, 2013 to Sep 10, 2013
  • Discretionary RAUM · $98.9M to $118M
    Apr 18, 2013 to Sep 10, 2013
  • RAUM · $98.9M to $118M
    Apr 18, 2013 to Sep 10, 2013
  • Accounts · 309 to 493
    Dec 11, 2012 to Mar 26, 2013
  • Advisory employees · 11 to 7
    Dec 11, 2012 to Mar 26, 2013
  • BD registered reps · 10 to 7
    Dec 11, 2012 to Mar 26, 2013
  • Insurance-licensed employees · 1 to 0
    Dec 11, 2012 to Mar 26, 2013
  • State-registered IARs · 1 to 2
    Dec 11, 2012 to Mar 26, 2013
  • Private funds · 6 to 5
    Dec 11, 2012 to Mar 26, 2013
  • Discretionary RAUM · $92.5M to $98.9M
    Dec 11, 2012 to Mar 26, 2013
  • RAUM · $92.5M to $98.9M
    Dec 11, 2012 to Mar 26, 2013
  • Related adviser · true to false
    Dec 11, 2012 to Mar 26, 2013
  • Related insurance company · true to false
    Dec 11, 2012 to Mar 26, 2013
  • Advisory employees · unset to 11.0
    Jun 29, 2012 to Nov 2, 2012
  • BD registered reps · unset to 10.0
    Jun 29, 2012 to Nov 2, 2012
  • Employees · unset to 18.0
    Jun 29, 2012 to Nov 2, 2012
  • State-registered IARs · 0 to 1
    Jun 29, 2012 to Nov 2, 2012
  • Accounts · 308 to 309
    Mar 28, 2012 to May 23, 2012
  • Discretionary RAUM · $80.6M to $92.5M
    Mar 28, 2012 to May 23, 2012
  • RAUM · $80.6M to $92.5M
    Mar 28, 2012 to May 23, 2012
  • Accounts · 395 to 308
    Dec 5, 2011 to Mar 27, 2012
  • Advisory activities · 2 to 5
    Dec 5, 2011 to Mar 27, 2012
  • Insurance-licensed employees · unset to 1.0
    Dec 5, 2011 to Mar 27, 2012
  • Private funds · unset to 6
    Dec 5, 2011 to Mar 27, 2012
  • Discretionary RAUM · $65.7M to $80.6M
    Dec 5, 2011 to Mar 27, 2012
  • RAUM · $65.7M to $80.6M
    Dec 5, 2011 to Mar 27, 2012
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
Form ADV
SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors
IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026
Across the graphs

C•••••• C•••••• M••••••••• G••••• I••• is the same institution as 1 record in Real Estate Funds.

Real Estate Funds1

Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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